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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in financial crime investigations, particularly in AML and securities fraud, while ensuring compliance with U.S. regulatory requirements. Proficient in transaction monitoring systems and skilled in preparing Suspicious Activity Reports (SARs) and risk assessments.
Highest-signal resume keywords
Financial Crime InvestigationsBSA/AML ComplianceTransaction Monitoring SystemsSuspicious Activity Report (SAR) WritingRegulatory Requirements Knowledge
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
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Hard Skills
Financial Crime InvestigationsBSA/AML ComplianceTransaction Monitoring SystemsSuspicious Activity Report (SAR) WritingRisk AssessmentData AnalysisCase Management ToolsRegulatory ComplianceDocumentation SkillsAnalytical Skills
Soft Skills
Effective CommunicationProblem-Solving Abilities
Tools & Technologies
Google SheetsMS Excel
Industry Keywords
AMLSecurities FraudUSA PATRIOT ActSEC RegulationsFINRA RegulationsOFAC RegulationsSanctions ScreeningMarket ManipulationFinancial CrimesCompliance Protocols
About the role
Key responsibilities & impact- Join Alpaca Securities’ dynamic and fully remote Compliance team dedicated to safeguarding the integrity of the financial markets.
- Collaborate with the AMLCO to implement and refine investigative procedures cross CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives.
- Conduct in-depth investigations into potentially suspicious activity, including securities fraud, account manipulation, and other financial crimes identified through transaction monitoring alerts, escalations, and referrals.
- Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies.
- Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries.
- Maintain and continuously update firm-wide risk assessments covering BSA/AML, sanctions, fraud, and securities surveillance programs.
- Partner with internal stakeholders and assist during external audits, examinations, and regulatory engagements.
- Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols.
- Stay abreast of regulatory developments and industry best practices, particularly those related to the Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations, and SEC/FINRA rules.
- Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms.
- Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors.
Requirements
What you’ll need- 1–3 years of experience in financial crime investigations (AML, fraud, securities fraud, or related disciplines).
- Strong understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT Act, SEC/FINRA regulations).
- Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity.
- Proficiency in transaction monitoring systems and case management tools.
- Strong analytical, documentation, and SAR-writing skills.
- Effective communication and problem-solving abilities.
- Experience with Google Sheets or MS Excel, including pivot tables and advanced filtering.
- Working knowledge of domestic and international payment systems.
Benefits
Comp & perks- Competitive Salary & Stock Options
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card